IR Information

Capital and Stock Data

Total outstanding share, change in and type of number of common shares provided.


Total Outstanding Shares

(as of March 31, 2011)

Common Stock

1,414,055,625

Type 6 Preferred Stock Note2

70,001

Total

1,414,125,626
Note
Repurchased and cancelled all the shares of this preferred stock on April 1, 2011

Change in Number of Shares Outstanding and Capital Stock

(Millions of yen)

Date

Number of
shares outstanding

Capital stock

Capital surplus

Changes

Balances

Changes

Balances

Changes

Balances

May 17,
2006

(68,000)

8,306,273.77

no data

1,420,877

no data

1,420,989

August 11,
2006

no data

8,306,273.77

no data

1,420,877

(1,000,000)

420,989

September
1, 2006

249,015

8,555,288.77

no data

1,420,877

221,365

642,355

September
6, 2006

(67,000)

8,488,288.77

no data

1,420,877

no data

642,355

September
29, 2006

(439,534)

8,048,754.77

no data

1,420,877

no data

642,355

October
11, 2006

(195,000)

7,853,754.77

no data

1,420,877

no data

642,355

April 30,
2008

157,151

8,010,905.77

no data

1,420,877

no data

642,355

May 16,
2008

(16,700)

7,994,205.77

no data

1,420,877

no data

642,355

January 4,
2009

781,189,672.23

789,183,878

no data

1,420,877

no data

642,355

June 22,
2009

219,700,000

1,008,883,878

413,695

1,834,572

413,695

1,056,050

July 27,
2009

8,931,300

1,017,815,178

16,817

1,851,389

16,817

1,072,868

January
27, 2010

340,000,000

1,357,815,178

459,477

2,310,867

459,477

1,532,345

January
28, 2010

36,343,848

1,394,159,026

no data

2,310,867

no data

1,532,345

February
8, 2010

(33,400)

1,394,125,626

no data

2,310,867

no data

1,532,345

February
10, 2010

20,000,000

1,414,125,626

27,028

2,337,895

27,028

1,559,374

Remarks:

May
17, 2006

Repurchase and cancellation of 35,000 shares of preferred stock (Type 1)
and 33,000 shares of preferred stock (Type 2)

August
11,2006

Capital reserve was transferred to other capital surplus pursuant to Article
448-1 of the Company Law

September
1, 2006

Increase in the number of common stock as a result of share exchange for making SMBC Friend Securities Co., Ltd. our wholly-owned subsidiary
(share exchange ratio: 1-to-0.0008)

September
6, 2006

Repurchase and cancellation of 67,000 shares of preferred stock (Type 2)

September
29, 2006

Repurchase and cancellation of 500,000 shares of preferred stock (Type 3) and increase in shares of common stock of 60,466

October
11,2006

Repurchase and cancellation of 195,000 shares of preferred stock (Type 3)

April
30,2008

Increase in shares of common stock of 157,151 as a result of exercise of rights to purchase all the shares of preferred stock (5th to 8th series Type 4)

May
16, 2008

Decrease in shares of preferred stock (Type 4) of 16,700 as a result of cancellation of all the shares of preferred stock (5th to 8th series Type 4)

January
4, 2009

Increase in shares of common stock of 781,189,672.23 as a result of 100-for-1 stock split

June
22, 2009

Public offering:

Common stock:

219,700,000 shares

Issue price:

3,766 yen

Capitalization:

1,883 yen

July
27, 2009

Allotment to third parties:

Common stock:

8,931,300 shares

Issue price:

3,766 yen

Capitalization:

1,883 yen

January
27, 2010

Public offering:

Common stock:

340,000,000 shares

Issue price:

2,702.81 yen

Capitalization:

1,351.405 yen

January
28, 2010

Increase in shares of common stock of 36,343,848 as a result of exercise of rights to purchase all the shares of preferred stock (1st to 4th and 9th to 12th series Type 4)

February
8, 2010

Decrease in shares of preferred stock (Type 4) of 33,400 as a result of cancellation of all the shares of preferred stock (1st to 4th and 9th to 12th series Type 4)

February
10, 2010

Allotment to third parties:

Common stock:

20,000,000 shares

Issue price:

2,702.81 yen

Capitalization:

1,351.405 yen

Information on Common Stock

Number of Shares, Classified by Type of Shareholders

(as of March 31, 2011)

 

Number of
shareholders

Number
of shares
(units of
shares)

Percentage
of total
(%)

Japanese government and local
government

7

4,774

0.03

Financial institutions

394

4,144,500

29.35

Securities companies

105

717,865

5.08

Other institutions

9,032

1,664,643

11.79

Foreign institutions, etc.

  Of which, institutions
  Of which, individuals

 

938
141

 

5,538,375
714

 

39.22
0.01

Individuals and others

342,025

2,049,686

14.52

Total

352,642

14,120,557

100.00

Fractional shares (shares)

no data

1,999,925

no data
(Note2)
Of 3,762,514 shares in treasury stock, 37,625 units of shares are included in "Individuals and others" and 14 shares are included in "Fractional shares."
(Note3)
"Other institutions" include 28 units of shares held by the Securities Custody Association.

Principal Shareholders

(As of March 31, 2011)

Shareholders

Number of
shares
(100 shares)

Percentage
of shares
outstanding
(%)

Japan Trustee Services Bank, Ltd. (Trust Account)

879,398

6.21

The Master Trust Bank of Japan, Ltd. (Trust Account)

771,222

5.45

SSBT OD05 OMNIBUS ACCOUNT - TREATY CLIENTS

308,434

2.18

Japan Trustee Services Bank, Ltd. (Trust Account 9)

295,089

2.08

MELLON BANK, N.A. AS AGENT FOR ITS CLIENT MELLON OMNIBUS US PENSION

172,229

1.21

STATE STREET BANK AND TRUST COMPANY 505225

171,987

1.21

SMFG Card & Credit, Inc

154,794

1.09

Nippon Life Insurance Company

154,666

1.09

NATSCUMCO

143,563

1.01

STATE STREET BANK AND TRUST COMPANY 505103

139,276

0.98



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